Sentences with phrase «disciplinary actions against brokers»
In addition to BrokerCheck, FINRA has a separate database that includes FINRA's disciplinary actions against brokers.
http://piabafoundation.org/ Not exact matches
Consumers can enter a mortgage broker's name or company into the search - friendly database and see disciplinary actions (licence suspensions, administrative penalties, cease and desist orders) that have been taken against a broker by their provincial mortgage regulator and other Canadian regulators.
Failure to have him / her licensed could result in disciplinary action being taken against the brokerage and Acme's managing broker.